Fundamental Passacaglia: Harmonic Functions

and the Modes of the Musical Tetractys

Karst de Jong and Thomas Noll

Royal Conservatoire Den Haag and Escola Superior de M

usica de Catalunya

Abstract. In this paper we take the three tonal functions tonic, sub- dominant, dominant out of their usual theoretical domicile the com- binatorics of fifth-related triads enriched by a dialectical interpretation and redeploy them within an alternative theoretical framework: the combinatorics of the modes of the musical tetractys, enriched by musical- theoretical interpretations of selected mathematical facts. Section 1 intro- duces tonal perspectives of the analysis of the fundamental bass. Section 2 provides a short overview of the combinatorics of the three modes of the musical tetractys. The concluding Section 3 binds the two strands of investigation together.

Keywords: Fundamental Bass, Functional Modes, Harmonic Functions,

With the present investigation we act on a suggestion, which has been mademore than two decades ago. A side remark in Norman Carey and David Clampittsarticle on well-formed scales [1] draws a link between what they name the struc-tural scale and Riemanns tonic-subdominant-dominant relationship. Basically,this link interprets the roots of the tonic, subdominant and dominant triads interms of a well-formed fifth-generated 3-tone-scale. One of the three modes ofthis scale is also known under the name musical tetractys. The tones C F G (C) exempify this mode in ascending order. The tetractys plays an establishedtheoretical role in the derivation of the diatonic modes and is associated withearly music rather than common practice harmonic tonality. The arguments ofthe present article will contribute to an augmentation of its theoretical role forthe study of musical harmony.

1 Tonal Perspectives of the Harmonic Underworld

This section is dedicated to the introduction of functional modes to the analy-sis of fundamental bass progressions. The approach is not a theory of analysis,though. The competence to identify chord progressions and to extract a funda-mental line is a presupposition to the approach, not an outcome. The intendedoutcome is an enriched interpretation of this fundamental line through func-tional modes. We regard these modes as a manifestation of tonality within thefundamental bass.2 Karst de Jong and Thomas Noll

1.1 Fifths and Minor Thirds Revisited

In our first joint paper [3] we explore the descriptive and explanatory power ofa two-dimensional grid spanned by perfect fifths and minor thirds for theanalysis of fundamental bass progressions. The idea of regarding these two inter-vals as basic generators of all possible progressions involves the assumption thatother intervals, such as the major second or the major third, are compounds. Asto the major second this viewpoint is compatible with Jean Phillippe Rameauspostulate of the double employment. For the major third though, there is doubtas to whether it should be regarded as a basic interval, or a compound one. Withrespect to the Ramists corps sonore paradigm of fundamental bass contiguity,one would give equal importance to both major and minor thirds. However, weintend to reinforce the position, taken in [3] regarding the importance of theminor third with stronger theoretical arguments. To begin with, the free P5/m3 grid provides a useful framework for the ex-ploration of unlimited pathways of the fundamental bass. The fact that commonfundamental bass progressions seem to have relatively simple pathways in thegrid is particularly intriguing. Many passages from classical pieces and jazz stan-dards can be simply described by progressions of descending minor thirds andfalling fifths. A suggestive example is the opening bars of Victor Youngs MyFoolish Heart.

Fig. 1. The arrow # stands for descending fifths or ascending fourths in the fundament.The arrow stands for descending minor thirds in the fundament. Thus the entireprogression is represented by the arrow chain # #####.

An interesting modulating example is the jazz piece Excerpt from Canonic

Passacaglia by Clare Fischer (issued on Alone Together in 1997). Note, however,that tonality is not yet an issue at this level of description. The chord progression,the bass line, and also melodic details are reminiscent of Benny Golsons WhisperNot (1956). Clare Fisher turns this model into a continuously modulating patternd: i ]vi/a: ii V i which traverses the entire circle of fifths. The five basstones D C B D A combine the descending line C C B A withthe zig-zag D B E A in the m3/P5 lattice. The title Passacaglia is mostlikely a reference to the descending fourth-line (such as D C B A). Thedeviation from the more typical descend D C B[ A) with B[ instead of B isin solidarity with the constitution of the fundamental bass pattern with becauseB being a minor third below D. Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 3

In [3] we make the terminological distinction between fifth progressions on

the vertical axis and minor third substitutions on the horizontal axis, and wemotivate this choice by their search for a precise equivalent to the constitution of(ordinary) melodies. In the melodic upper world diatonic steps and alterations(], [) serve as the basic intervals, while leaps are regarded to be compounds. Inthe underworld of the fundamental bass these roles are taken by the perfectfifth, and the minor third, respectively. However,we left it an open task to furtherelaborate upon this analogy. Another issue in the article ([3]) which needs further elaboration, is a convinc-ing treatment of tonality on the background of the P5/m3 grid. The fundamentprogressions are studied in this unlimited free grid no principles are provided toregulate the functions of fundamental basses within the framework of tonality.We show in the present paper that both theoretical gaps can be filled at once,namely a clarification of the dierent roles of fifth and minor third as basic con-stituents of fundamental bass progressions and the establishment of a layer oftonal function modes on top of the P5/m3 grid.

1.2 Identifying the Fundamental Bass

In a typical harmonic progression the real bass line can be distinguished from thefundamental bass. Especially in the idoms of the western Classical and Romanticstyles, the melodization of the bass line is a common feature. Inversions replacethe root-positions, resulting in a more melodic bass line. Several theorists, suchas Jean Phillipe Rameau, Simon Sechter, Arnold Schonberg and Paul Hindemithhave paid considerable attention to the role of the fundamental bass in relation tothe real bass in analysis and composition. Their eorts reinforce our confidencethat this level of musical description deserves further investigation. Our aim is to look at the fundamental bass as if it were a dual melody, inorder to reveal its guiding role within tonality and tonal structures. The attributedual refers to a mathematical concept of duality in the application to modes,where step interval patterns have fifth/fourth-foldings as their dual counterparts.In this respect we regard the prominence of linear steps in ordinary melodies, andthe prominence of fifths and fourths in fundament progressions as manifestationsof this duality. More details will be investigated in Section 2. Prior to the theoretical challenge to decipher these melodies and place themin a larger framework of tetractys modes, there is the obvious practical questionwhich needs to be addressed when analyzing the music: how can we exactly4 Karst de Jong and Thomas Noll

identify the fundamental bass in actual musical textures? There are situationswhere this task is relatively straightforward, such as in the homophonic C-majorPrelude of J.S.Bachs WTK I. However, in most musical textures there is con-siderable room for interpretation. Generally, to identify the fundament, a basicprinciple is to follow the rule of the stacked thirds, according to which any chordcan be rearranged into a chain of thirds. However, there are exceptions. It isbeyond the scope of this article to investigate these exceptions in depth, butnevertheless we list here some guidelines to which we adhere in our own analy-ses:

1. Root of a Stack of Thirds: The fundamental bass is identified as the root.

The prototypical examples are the root positions and inversions of major and minor triads, and the four types of diatonic seventh chords. In some cases, such as the diminished triad and the diminished seventh chord, we identify the fundament as a non-sounding tone, a major third below the root. 2. Real Bass: In the cases of the Cadential 6/4-chord, the Neapolitan sixth chord, and chords with a added sixth, the fundamental bass is identified as the real bass. 3. Augmented Sixth Chords: For all types of augmented sixth chords, such as Italian, French, German, the fundamental bass is identified as a tone, a diminished fifth below the real bass. To put it dierently, in reference to the stack of thirds, for the French chord the fundament coincides with the root. For the Italian and German chords we follow the same reasoning as for the diminished chords, whereby the non-sounding fundament is a major third below the root. 4. Ambiguity: Sometimes the vertical dimension alone does not provide enough information to determine the fundamental bass properly. In such a case the context puts the default choice into question. Such is the case for the half- diminished chord, which resolves with its root as a leading tone. Another example is the so called common-tone diminished seventh chord on ]II in Major. 5. Upper Structures: Many late romantic and jazz chords need to be interpreted with care in their context (Tristan chord, Eulenspiegel chord, half-diminished chord as an upper structure of an altered dominant, tritone related domi- nants etc.).

1.3 Functional Modes: The T S D Constellation Revisited

The compound concept harmonic function mode (or short: functional mode) isthe central new concept proposed in this paper. It stands on two pillars: (1) theanalysis of harmonic functions and (2) the melody formed by the progression ofthe fundamental bass. The proposed concept reinterprets the three tonal func-tions tonic (T), subdominant (S) and dominant (D) as scale degrees of threepossible modes of an underlying three-note scale. The generic step order of the abstract three-note scale is the pattern T S D (T). The three modes with the common tonic C are thus: C F G Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 5

(C), C D G (C) and C F Bb (C). The step intervals between T and

S, S and D, D and T vary from one mode to the other.

Fig. 3. The three modes of the Tetractys

This is a considerable expansion of the traditional concept of harmonic func-

tions with fixed fundaments within any given key. Furthermore this reinterpre-tation is quite dierent from Moritz Haupmanns ([5]) and Hugo Riemanns ([9])original ideas about the internal relations among the three functions, where thetwo dominants S and D are always in a perfect fifth/fourth relationship to thetonic. We believe that we find manifestations of these modes in all tonal music.On a local level, many musical passages can be identified to be in either one ofthese functional modes. Figures 4, 5, and 6 provide short examples for each ofthe three functional modes: In Figure 4 the symbol D1 denotes the first mode of D. The complete fun-dament progression D (G D A D) G A D can be associated withthe standard cadential progression (of triads) D G A D of Riemannianfunction theory.1

Fig. 4. Mode 1, Haydn, Sonata Hob. XVI No. 33

In Figure 5 the symbol F2 denotes the second mode of F . In this example

the fundament G represents the subdominant function S. Note that it is not ina perfect fifth relationship to the tonal center F . Nevertheless it is regarded tobe the true subdominant of that mode, and there is no need to interpret theG as a substitute of B[. In Figure 6 the symbol B3 denotes the third mode of B. In this examplethe fundament A represents the dominant function D. It has a major second1 The secondary dominant seventh chord of the subdominant G strengthens the pres- ence of the subdominant within this progression.6 Karst de Jong and Thomas Noll

Fig. 5. Mode 2, Handel, Aria Lascia chio pianga

relationship to the tonal center B and it is regarded to be the true dominant

of that mode. There is no need to interpret the A as a substitute of F ].

Fig. 6. Mode 3, Sting: An Englishman in New York

The three modes are not of the same importance in common practice tonalmusic. First and second modes can be found throughout the repertoire of baroque,classical and romantic pieces. The same holds for jazz harmony, even though sec-ond modes appear here more often than first ones. The third modes however,are the odd ones out. We find them in pop music, as the Sting-example suggests. We propose to draw a connection between dierences among the three modeswith regard to their presence in the music on the one hand and dierencesamong them with regard to their mathematical structure, on the other. Thelatter shall be dealt with in subsection 2.2. From an analytical point of view, it is not always possible to unambiguouslydecide wether or not a given chord progression has to be identified as a first oras a second mode. The following example from the 2nd movement of Haydnssymphony No. 94 (see fig. 7) contains the celebrated ambiguity between a rootposition IV-chord with added sixth and a II 7 -chord in first inversion (II 65 ). Tra-ditionally, the ambiguity is either attributed to the music itself (Rameau) or itremains in a frozen aggregate state between the conceptions of coexisting the-oretical traditions (Riemann functions, Roman numerals). Rameaus argumentabout a double employment of the tones of both chords uses this ambiguity forthe purpose of fundamental bass analyses. Ramists would therefore acknowledgea substitution of the fundament F by the fundament D. In the tradition of Rie-mann one would subsume the IV -chord with (or without) the added sixth aswell as the II- and II 7 -chord (with their inversions) into the category of the Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 7

subdominant function and one would attribute a fundament F to the first halfof the second bar. In the traditions of scale degree theory and Roman numeralanalysis one would adhere to the third-chain-structure of the II 7 -chord andwould disregard the option of a IV with added sixth. Hence one would attributea fundament D to the first half of the second bar. The functional mode approach as such does not dissolve this ambiguity. Itrather amplifies it by oering three alternative analyses (see figure 7):

Fig. 7. Mode 1, Haydn, Symphony no.94/ii

The first and the second analyses both attribute a first mode C1 to the music.The unusual notation S] in the first (Ramist double employment) analysisC1 : T SS] DT will be explained in subsection 3.2. Our preferred analysis in thiscase is the second (Riemannian) option, namely C1 : T SDT .

2 Combinatorics of the Tetractys Modes

This section familiarizes the reader with the tetractys2 modes as instances ofwell-formed modes. It illustrates the approach taken in [2] in a situation, whichis simpler but perhaps less familiar than the diatonic modes. Thus it is usefulto refer to the diatonic case for comparison. Figure 8 opposes the structure ofthe first tetractys mode (left) from Figure 3 and the structure of the authenticIonian mode (right). Both subfigures show in the lower sta an ascending patternof large and small steps and in the upper sta a folding pattern in ascendingfifths and descending fourths. In both modes the ascending step intervals aredesignated by the letters a and b, while ascending fifth and descending fourth inthe folding patterns are designated by the letters x and y respectively.2 Traditionally, the chain of integer ratios 6 : 8 : 9 : 12, has been called the musical tetractys. In its ancient interpretation in terms of string length ratios the number 6 represents the highest tone. The outer ratio 6 : 12 = 1 : 2 corresponds to a descending octave. In its modern interpretation in terms of frequency ratios the direction (of encoding the tetractys) is inverted accordingly.8 Karst de Jong and Thomas Noll

Fig. 8. Analogy between the tetractys and the authentic Ionian mode. The thick dottedlines as well as the crossing thin lines refer to the authentic division of the step intervalpatterns (see subsection 2.2)

In the case of the Ionian mode, the two-letter word aabaaab of length sevenis the plain adjoint of the two-letter word yxyxyxy of that same length (see[8] for details). The mutual adjointness of these words is a modal refinementof the well-formedness property of the diatonic scale. The scale folding withthe pattern yxyxyxy fills the interval of the augmented prime FF] while theascending scale with the step pattern aaabaab fills the interval of the octaveCC 0 . Thus, these two intervals themselves are dually related to each other inthe context of the adjointness. The ascending augmented prime is the dierencebetween the ascending major and minor step intervals. Dually, the octave is thesum of an ascending fifth and an ascending fourth, or in order to highlightthe duality we can say it is the dierence between an ascending fifth and adescending fourth. In the case of the first tetractys mode, the two-letter word bab of length threeis the plain adjoint of the two-letter word yxy. The mutual adjointness of thesewords is a modal refinement of the well-formedness property of the tetractysscale (see also Figure 9). The scale folding with the pattern yxy fills the intervalof the minor third FD while the ascending scale with the step pattern bab fillsthe interval of the octave CC 0 . Thus, these two intervals themselves are duallyrelated to each other. The descending minor third is the dierence betweenthe ascending major second (being the small tetractys step interval) and theascending perfect fourth (being the large tetractys step interval). Dually asabove the octave is the dierence between an ascending fifth and a descendingfourth. The minor third is the alteration interval in the world of the tetractysmodes, and might therefore be called augmented tetractys prime. This analogyis the driving idea for the present paper. Aside from the analogy between the tetractys and the diatonic there is agenealogic connection between them in a mathematical sense. This relates tothe historic derivation of the diatonic modes as tetrachord fillings of the P4- Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 9

steps in the tetractys within a hierarchy of modes. The following subsection

recapitulates this connection on the level of scales.

2.1 The Structural Scale

The octave is regarded as the ambitus interval of the tetractys modes. At thesame time it is the interval of periodicity for the underlying three tone scale. Thetheory of well-formed scales ([1]) is only concerned with the aspect of periodicityand studies generated scales as arithmetic sequences (0, g, 2g, 3g, ...) mod 1 onthe chroma circle, where the pitch height 1 of the octave is identified with thepitch height 0 of the prime. We review some facts about the structural scale(0, g, 2g) mod 1, with g = log2 (3/2) representing the pitch height of the fifth.The conversion from generation order (t0 , t1 , t2 ) = (0, g, 2g 1) to scalar order(t0 , t2 , t1 ) = (0, 2g 1, g) is a multiplication by 2 mod 3 on the indices 0, 1, 2 oft0 , t1 , t2 . As a fifth-generated well-formed scale the structural scale (= tetractysscale) is situated within a (virtually infinite) hierarchy of such scales. Figure 9shows the first five instances of this family. Its root is the two note division scale,whose step intervals are the perfect fifth P5 and the perfect fourth P4.

Fig. 9. The table lists five instances of fifth-generated well-formed scales. The pie chartsrepresent the associated cyclic scale-step patterns. The bold numbers n = 2, 3, 5, 7, 12in the center of these diagrams denote the cardinalities of the scales. The tiny numbersalong the circumference denote the tones of the scale in generation order. Primarysteps are displayed in dark and secondary steps in light gray. The dierence betweenthe two is the comma. Depending of the sign of the comma we distinguish between theupper series (positive comma) and the lower series (negative comma).

The fifth P5 is regarded the primary and the fourth P4 the secondary stepinterval of the division scale. This confirms the markedness of the plagal divisionwith respect to the (unmarked) authentic division. These two exemplify themodes of the division scale. The principle of a markedness of the secondaryscale step intervals, with respect to the primary one is inherited throughout the10 Karst de Jong and Thomas Noll

hierarchy, as explained in the next paragraph. The pie charts for each of the fivescales in Figure 9 indicate this in terms of the two dierent gray levels for thecoloring of scale steps (dark gray = primary, light gray = secondary). The dierence between the primary and the secondary step interval is theassociated augmented prime (also called the comma). Whenever the comma isascending it becomes the primary step interval at the next level of the hierarchy,while the previous secondary step interval remains in this role. Whenever thecomma is descending its ascending counterpart becomes the secondary step in-terval at the next level of the hierarchy, while the previous primary step intervalremains in its role. In the case of the structural scale, the major second M2 isprimary (being the ascending comma of the division scale) and the fourth P4is secondary. The comma is a descending minor third, as already mentioned. Iteventually becomes the secondary step interval of the pentatonic scale. Modes of a scale can either be obtained by simply cutting the pie charts atsome tone which then becomes the finalis. In this manner one gets the commonorigin family of modes (see Figure 10), which diers from the common finalisfamily (as shown in Figure 3). The first, second and third modes result fromcutting at points 1, 0 and 2, respectively.

Fig. 10. Each tone of the structural scale serves as the finalis of an ascending mode. Inaddition to the 1st mode with the step-interval pattern bab, there are two more modes:abb and bba.

This method, however, of cutting the pie charts and thereby rotating thescale step pattern from one mode to the next does not qualitatively distinguishbetween the modal varieties. It can not explain, why the third tetractys mode orthe locrian diatonic mode are the odd ones out among their conjugates. Further-more, the method does not grasp historical aspects of the emergence of modes.

2.2 The Tesserachordon - Authentic and Plagal Tetractys Modes

The listing of the tetractys modes in the order 1st, 2nd, and 3rd is in analogyto the familiar listing of seven diatonic modes: Ionian, Dorian, Phygian, Lydian,Mixolydian, Aeolian, and Locrian. The medieval octenary system contains onlyDorian, Phrygian, Lydian and Mixolydian, each one in authentic and plagal Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 11

division. Heinrich Glarean ([4]) extends this list to his famous Dodekachordonby including the authentic and plagal Ionian and Aeolian modes. The Locrianmodes are explicitly rejected by Glarean. The historically motivated classificationof modes into three classes can be convincingly generalized to the modal varietiesof any n-tone well-formed scale (see [2] for details). There are n 3 inner modes(i.e. generalized Guidonian modes), all of which come in authentic and plagaldivision and which in both cases have the Guidonian affinities. In additionthere are two edge modes (i.e. generalized new Glarean modes)), each of whichcomes in authentic and plagal divisions and which have double neighbor polarity(dierent double-neighbor figures at finalis and confinalis). Finally, in each suchmodal family there is the bad conjugate whose divider is altered by the associatedaugmented prime of that scale. It is also amorphous in the sense, that it cannot begenerated from the authentic division (a|b) through the application of Sturmianmorphisms (see [2]). For the present investigation it is interesting to inspect these three classes inthe case of the family of the tetractys modes. The third tetractys mode is amor-phous in analogy to the Locrian mode. Closer inspection also shows that thereare no (generalized) Guidonian modes. The tetractys analogue to the octenarysystem is utterly empty, i.e. there is no instance of identical double-neighborfigures at finalis and confinalis. Instead we find double-neighbor polarity, whichis characteristic for Glareans new modes. In other words the analogue of theDodekachordon is a Tesserachordon. Figure 11 displays the proper authentic andplagal tetractys modes.

Fig. 11. The Tesserachordon as a tetractys analogue to Glareans Dodekachordon.

The authentic and plagal divisions of the 1st tetractys mode are analogousto the Ionian and Hypo-Ionian modes and the authentic and plagal divisions ofthe 2nd tetractys mode are analogous to the Aeolian and Hypo-Aeolian modes(see [2] for details).

2.3 Modulation between Tetractys Modes

In order to study of tonal modulations and chromatic deflections we may benefitfrom an analogy to the diatonic modes. Jay Hooks approach to signature trans-12 Karst de Jong and Thomas Noll

forms (see [6]) and other work can be suitably adopted to the situation of thetetractys modes. In the present paper we mention the two elementary types ofparsimonious modal transformations. Figure 12 displays three tetractys modeswith a common finalis C. The ascending step interval patterns of these modes areshown in the top systems, while the associated fifth/fourth foldings are shownat the bottom of each example. The foldings contain the active chromatic toneof each mode the minor third alteration of its origin.

Fig. 12. Three tetractys modes with a common finalis. The associated fifth/fourthfoldings contain the active chromatic tone of each mode.

One type of parsimonious modulation is based on a transformation where

the chromatic tone of the source mode is turned into an essential tone of thetarget mode, while the origin of the source mode loses its essential status. In amodulation from the first mode C1 to the second mode C2 the chromatic tone Dwith function S] becomes an essential tone with the function S. The tone A withfunction T] now becomes the new active chromatic tone of the target mode C2 .The tone C remains in the role of the finalis. The same way, the first mode C1can be reached from the third mode C3 , namely by making the chromatic toneG with function D] an essential tone with the function D. In these modulationsthe finalis of the mode is fixed and the origin is changed. A second type of parsimonious modulation is dual to the first type. Herebythe origin of the mode is fixed and the finalis is shifted (see figure 10). It isbased on transformations, where the finalis of the source mode with function Tis replaced by its octave, which becomes an essential tone of the target mode withfunction D. For example the first mode C1 with finalis C becomes a second modeF2 with finalis F . As tentative terms we propose function shift for the secondmodulation type (with fixed origin), and character shift for the first type (withfixed finalis). Hereby the term character would be in accordance with JacquesHandschins concept of tone character (see [2] for a discussion of Handschinsapproach in the context of well-formed mode theory). In the analytical practice one is not forced, however, to assume a modulationfor every non-tetractys fundament. In subsection 3.2 we argue in favor of adistinction between essential and accidental alteration. Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 13

3 Exploring the World of Functional Modes

In this section we establish some ties between the combinatorial facts from theprevious section and the study of the fundamental modes. The basic considera-tion involves two thoughts. Firstly we think that the fundamental bass deservesa modal treatment. Therefore it is reasonable to connect the three tonal func-tions with the tetractys modes. Secondly, we think that the duality betweenscale step patterns and foldings is the crux in the relation between real melodyand fundamental bass progression. While melody manifests itself in step proxim-ity, fundamental bass progression manifests itself in the proximity along foldingpatterns.

3.1 Lines, Foldings and Duality

A few words should be said about the mode as a syntactic unit and about thetypical order of fundaments in harmonic progressions. Thereby it is instructiveto take a music-theoretical interpretation of the duality mentioned above intoconsideration. In mathematics, two objects which stand in a dual relation to eachother are related by the interchange of particular pairs of terms. If the objectsare the scale step-interval pattern and the scale 5th/4th folding, the immediacyof the neighborhood relation of the steps in the scale is dual to the immediatekinship of perfect fifths in the folding. Since we strive to interpret the fundamentprogressions as a melody, the way in which Schenkerians pay attention to theimmediacy of the step patterns within a line (Urlinie) is inspiring. By transferingthe Schenkerian concept of immediacy, or contiguity, from the Urlinie to a spacewhere tones are folded in fifths and fourths, we hope to find an eective way ofdescribing and analyzing fundamental bass patterns. Looking for more sources,there are traces of a contiguity concept in the theories of Moritz Hauptmannand Hugo Riemann, who give a dialectical explanation of the order in whichthe tonal functions should appear: T S D T. Compared to their musicallyquestionable explanation, the duality approach seems now to oer a promisingalternative explanation for the logical order in which the tonal functions shouldfollow each other: in the same way as the Schenkerians regard tones on the Urlinieas indispensable stations on a trajectory, the three tones of the functional modescan be regarded as indispensible stations on the folding of their respective modes(Urfaltung). The Schenkerian emphasis of the bass arpeggiation I V I as the basic man-ifestation of harmony is nevertheless not disregarded. In the modal perspective itrelates to the authentic division of the octave, which is a mode of fifth-generatedtwo note scale C G (C). The mode is the common root of both, the first andsecond functional mode in C, within a hierarchy of well-formed fifth-generatedmodes. In each of the two cases the lower fifth interval within C G (C) isbeing expanded into a fourth and a major step, respectively: C F G (C)and C D G (C) (c.f. Figure 1). This means that both modes still inheritthe authentic division of the octave. This implies a concept of hierarchy dier-ent from the Schenkerian point of view: Rather than interpreting the single scale14 Karst de Jong and Thomas Noll

degrees II and IV as being subordinate to the single scale degree V we interpret

the entire modes C F G (C) and C D G (C) as being located atanother level in the hierarchy of modes and as being active at middlegroundlevels of musical structure. The same line of argument illuminates the special/exotic role of the thirdmode. It is not a descendant of the authentic division: the dominant correspondsto a minor third alteration of the divider. This makes it analogous to the Locrianmode, which was rejected by Glarean as hyper-aeolius reiectus I (see [4]). Wetend to find the third mode more in the pop repertoire and modal French musicof the turn of the 20th century than in the common practice period.

3.2 Essential vs. Accidental Alteration of Fundaments

In continuation of the considerations of subsection 2.3, let us elaborate a little

further upon the concept of alteration. We distinguish between essential and ac-cidental alterations. Returning to the previous example from the diatonic worldwe would speak of an essential alteration when we modulate from the C-ionianmode to the C-mixolydian mode (character shift). The tone B is essentially al-tered to become Bb. An accidental alteration takes place, when we use the Bbas passing tone between the Ionian scale degrees B and A. Now a similar dis-tinction can be made in the world of the functional modes. Please refer againto Figure 3. When modulating from a first mode C1 to a second mode C2 withcommon finalis C the subdominant scale degree F has to be essentially alteredby a minor third to D (see subsection 2.3). However, the fundament D can alsooccur within the first mode as an accidental alteration of the proper subdomi-nant function. The accidental alteration serves as a theoretical alternative to theRiemannian concept of functional substitution within our approach. In the caseof an accidental alteration no character shift takes place, i.e. it has no eect onthe dual side of the mode. We view it as a mere surface disturbance. A typical instance of a fundament progression with accidental alteration inthe second mode is the turnaround in jazz. In this case the tone representingtonic function is immediately followed by its minor third alteration downwardsand then followed by three falling fifths. This fundamental bass progression sub-sumes a whole bunch of chord progressions with quite dierent Roman numeralanalyses: I vi ii V I, I V/ii ii V I, I V/ii V/V V I, i ]vi ii V i, etc. Figure 13 displays a turnaround from the minor key themeFrantonality by Errol Garner. Note that the fundamental bass analysis behavesneutrally with respect to the distinction between major and minor keys. It istherefore interesting to observe that the turnaround in a minor key involves thesharped diatonic scale degree ]vi rather than the pure diatonic scale degree VI. Chopins A-major prelude Op. 28/7 is also a good illustration of an accidentalalteration within a second mode. In this case the whole piece culminates inthe completion of a single turnaround. At the climactic point of the piece, thetonic A is being altered (accidental alteration) to F ] and then followed by thesubdominant B, dominant E, and tonic A, respectively. Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 15

Fig. 14. Chopin Op. 28 No. 7, Bars 9 - 16

A striking example of a 1st mode with altered subdominant (S]) is Ravels

Forlane from Le Tombeau de Couperin. In this theme a clear first functionalmode of E is accompanied by a colorful and strongly chromatic upper structure.

Fig. 15. Ravel: Forlane from Le Tombeau de Couperin, bars 1-4

In this example the altered subdominant S] occurs explicitly in the music.

A dierent application of the concept of accidental alteration ties in with ourdiscussion of the ambiguity between the root position IV -chord with added sixthand a II 7 -chord in first inversion (II 65 ). In the case of the Haydn symphony (fig.7) the very first of the three alternative analyses is an instance of an accidentallyaltered subdominant S] within a first mode of C. This is how Ramenaus ideaof double employment can be re-interpreted in the functional mode approach.16 Karst de Jong and Thomas Noll

The specific position of the minor third in the folding pattern is characteristicto a mode. In the first mode it is always the subdominant which is about to bealtered, while in the second mode it is the tonic. This is perhaps the mostimportant aspect wherein our approach could be an addition to Erno Lendvaisfunctional axis system. Figure 16 visualizes the modal distinctions in comparisonwith the neutral amodal axis system.

Fig. 16. Comparison of the three functional modes with Lendvais axis system.

3.3 Double Star, Hierarchy, Modulation and Sequence

A thorough investigation of the scope and the boudaries of the functional modeapproach within the investigation of harmonic tonality requires the careful anal-ysis of a sufficiently large corpus of works as well as an extension of the paradig-matic study of the single modes towards an investigation of their combinatorialityon the syntagmatic side. For the present paper we need to limit ourselves to acouple of pre-considerations on the basis of examples. First of all, it is reasonable to assume that the expression of tonality throughthe fundamental bass has dierent manifestations along the hierarchy of well-formed scales (c.f. Figure 9). In the present approach we concentrate on theauthentic tetractys modes. They form the next higher level immediately followingthe authentic division mode at the root of the hierarchy, which is manifest in theSchenkerian bass arpeggiation I V I. Immediately after the tetractys modes weobtain the pentatonic modes, which we may interpret as chromatically saturatedtetractys modes. This is where the border of our approach is reached. Complete diatonic falling fifth progressions oer themselves as manifestationsof a next hierarchical level. Some theorists, however, such as Francois-JosephF`etis or Hugo Riemann, argue that complete diatonic circle-of-fifth sequenceshave a tendency to suspend the presence of tonality. A clarification of this pointon the basis of theoretical arguments and examples deserves a separate inves-tigation. It is interesting, though, to discuss at least one such example wherethe assumption of a suspended tonality is no less than problematic. We meanthe fundamental bass progression of the song Autumn Leaves by Joseph Kosma(1945). Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 17

Fig. 17. Analysis of the complete diatonic cycle of fifths as an interaction of two func-tional modes. The double arrow symbolizes the interval of a diminished fifth.

In this minor mode song the fundamental bass traverses the whole diatoniccycle of fifths in G-minor (see Figure 17). But this song also shows a typicalfeature of the harmony in minor keys: a decomposition into two regions, both ofwhich are organized as first functional modes: G1 and Bb1 . What prevents thesuspension of tonality in this case could be based upon the constitution of theminor mode as a kind of double star. The diminished fifth between A and Ebdecomposes into two minor thirds (A C, C Eb), both of which are the activealteration intervals in the modes G1 and Bb1 , respectively.

Another type of interaction between functional modes is hierarchical em-

bedding. The first Prelude in C-Major in J.S. Bachs WTK I is an interestingexample of a piece which on the middle-ground is a single trajectory through a1st mode T S S] D T and which on the foreground level consists of aseries of 2nd and 1st modes. The fundamental bass line of the first 8 bars of Benny Golsons Whisper Notoers an example of a 2nd mode whose T S progression is prolonged on theforeground by a series of 2nd functional modes.

Despite of the obvious similarities with Whisper Not, the Canonic Passacagliaby Clare Fischer does not show the same kind of hierarchical organization. It isa chain of modulating 2nd modes, each of which provides a clear tonal anchor.

The present paper is a first attempt to envision the meaning of the side remarkin Norman Carey and David Clampitts article [1] in some detail. The functionalmode approach to tonality is based upon the assumption that the presence oftonality is linked to the experience of a tetractys mode and that the modeis typically expressed through its folding pattern. These tetractys modes canbe chromatically extended. The active chromatic tone is already included inthe associated folding pattern and constitutes a minor third (as the augmentedtetractys prime) with the origin of the folding. As soon as the finalis and theposition of the minor third as the boundary of the folding are in place, the modein question will be active. Modulations on the tetractys level rely on the opening of a mode and therebyon a moment of tonal instability. The Canonic Passacaglia example shows a firstlevel of such instability, as the closing fifth in each modal trajectory is missing.A sequence of perfect fifths between the modes is established. A second level of instability occurs, whenever two fifths are taken away. Suchis the case in the Monte Sequence (e.g. Air, 3rd Orchstral Suite D-Major/ /ii; BWV 1068, by J. S. Bach, bars 13 - 14), where a sequence of ascendingmajor seconds is established. When the third, and final fifth is taken away, allthat remains is the minor third, and tonality is about to dissolve. We think,that omnibus progression is a good example, where this happens. Figure 20provides a fundamental bass analysis of the Monte sequence and of the Omnibusprogression. The other possibility to dissolve tonality is the avoidance of the comma (ei-ther explicitly or as the boundary interval). Nothing, but progressions of freelyfalling and rising fifths remain. Fundamental Passacaglia: Harmonic Functions and Tetractys Modes 19